0001144204-16-090677.txt : 20160328 0001144204-16-090677.hdr.sgml : 20160328 20160328171626 ACCESSION NUMBER: 0001144204-16-090677 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160324 FILED AS OF DATE: 20160328 DATE AS OF CHANGE: 20160328 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: 3DICON CORP CENTRAL INDEX KEY: 0001375195 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 000000000 STATE OF INCORPORATION: OK FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6804 SOUTH CANTON AVENUE STREET 2: SUITE 150 CITY: TULSA STATE: OK ZIP: 74136 BUSINESS PHONE: (918) 494-0505 MAIL ADDRESS: STREET 1: 6804 SOUTH CANTON AVENUE STREET 2: SUITE 150 CITY: TULSA STATE: OK ZIP: 74136 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OCONNOR JOHN MICHAEL CENTRAL INDEX KEY: 0001551899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54697 FILM NUMBER: 161532967 MAIL ADDRESS: STREET 1: 2828 E. 34 CITY: TULSA STATE: OK ZIP: 74105 4 1 v435369_4.xml OWNERSHIP DOCUMENT X0306 4 2016-03-24 0 0001375195 3DICON CORP TDCP 0001551899 OCONNOR JOHN MICHAEL C/O 3DICON CORPORATION, 6804 SOUTH CANTON AVENUE, SUITE 150 TULSA OK 74136 1 0 0 0 Series B Convertible Preferred Stock 2016-03-24 4 A 0 50149 A 2016-03-24 Common Stock 95985186 50149 I See Remarks Each share of Series B Convertible Preferred Stock is convertible into 1,914 shares of common stock. Pursuant to certain Securities Purchase Agreements dated December 11, 2015, 3DIcon Corporation (the "Company") had agreed to issue, and on March 24, 2016 issued, to certain officers, directors, consultants and service providers (collectively, "Recipients") and the Recipients had agreed to accept, and on March 24, 2016 received, shares of Series B Preferred Stock in consideration for the satisfaction, in lieu of cash payment, of an aggregate of $1,105,402.72 owed by the Company to the Recipients. Among the Recipients was the law firm Newton, O'Connor, Turner & Ketchum, P.C., of which the Reporting Person, a Director of the Company, is a partner and shareholder, which received 50,149 shares of Series B Preferred in satisfaction of $52,791.49 owed to it for services provided to the Company. The right to convert the Series B Preferred Stock is limited by a 4.99% beneficial ownership limitation. None. The price of the derivative security was not determined for this transaction as the issuance reported was made in consideration for the settlement of amounts owed to Newton, O'Connor, Turner & Ketchum, P.C, a law firm of which the Reporting Person, a Director of the Company, is a partner and shareholder. By Newton, O'Connor, Turner & Ketchum, P.C., a law firm of which Reporting Person, a Director, is a partner and shareholder /s/ John O'Connor 2016-03-28